Chief Compliance Officer

4 days ago


Miami, United States Larson Maddox Full time

Chief Compliance Officer Responsibilities:

  • Overseeing SEC registration for a new investment adviser focused on infrastructure, including filing Form ADV.
  • Developing and implementing a compliance program with tailored policies and procedures.
  • Fostering a strong culture of compliance across the firm.
  • Conducting risk assessments and compliance reviews, including an annual review, to address risk areas and conflicts of interest.
  • Ensuring compliance with the SEC's Marketing Rule for all marketing materials.
  • Managing the anti-bribery and corruption program for both investors and investments.
  • Developing and delivering compliance training for employees.
  • Serving as the primary liaison with regulators for examinations, investigations, and routine inquiries.
  • Handling regulatory filings such as Form ADV, Form PF, and Sections 13 and 16, as needed.
  • Attending investor due diligence meetings.
  • Staying up-to-date with industry trends and changes in U.S. and international regulations.

Chief Compliance Officer Qualifications:

  • Bachelor's degree required; a law degree is preferred.
  • At least 7-10 years of in-house compliance experience with an SEC-registered investment adviser, ideally in the private equity space. Experience in infrastructure investing is highly desirable.
  • Fund formation experience is a plus.


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